Roles and Responsibilities

The following section defines the roles and responsibilities of each signatory authority in managing sponsored activities. Signatures on the Declaration of Intent form and the Proposal Certification form directly translate to the accountability assigned to each of the approving units, collectively forming the blueprint for a systemic compliance effort, with clearly identified responsibilities in sponsored program management.

The Principal Investigator/Project Director (PI) is responsible for: ensuring that the project is conducted in a timely, professional, and ethical manner in accordance with sponsor guidelines; ensuring that appropriate safeguards are in place to provide the protection of humans, animals, and/or co-workers; and ensuring that expenditures are allowable, allocable to project activities, and are consistent with Fairmont State policy, sponsor regulations, state regulations, and federal regulations. The PI should make certain that appropriate records are maintained and retained within their department to document expenditures; to certify that the time/effort expended on the project is accurately documented and reported (if a federal award), and that data is collected, maintained, and archived in accordance with sponsor guidelines. The PI is responsible for compiling program reports, working with the Accounting Office when requested to verify associated expenditures and financial reports, and ensuring the time/effort of personnel on the project is accurately reported when required. The PI will be responsible for monitoring and reviewing the award budget in the Banner/Felix system on a regular basis to ensure posted expenses are accurate and inclusive. The PI will be sent a monthly budget report to review and approve the project budget and expenses. If an expense is mistakenly charged to an incorrect budget, the department staff person should work with the OSP to get it corrected quickly (within the next 30 days) and well before the end of the grant period. (See the Grants Transfer of Expense Request form) Other types of reporting/certifications may also be required by the sponsoring agency.

The Unit Head is responsible for providing guidance to the PI in resolving programmatic issues to ensure progress, providing administrative support in maintaining appropriate project documentation, expenditure processing, and budget oversight, and for providing cost-sharing/matching as specified. The Unit Head is also responsible for ensuring that sponsored project activities remain consistent with the mission of the unit and the University, that issues are resolved in a timely manner, and that cost-sharing/matching funds are provided when applicable and agreed upon.

The OSP is responsible for reviewing the award document for consistency with the original application; processing award documents received, securing administrative approval signatures in accordance with award acceptance, ensuring that compliance issues have been resolved, preparing and distributing the Notice of Award letter/document to all parties, assisting in post-award management through provision of technical advice and interpretation of sponsor rules and regulations, working with the Finance Department to ensure an award budget and personnel positions (if applicable) are created. The OSP also serves as liaison between the PI and institutional units to resolve issues that may arise, ensure each award is closed-out appropriately, and ensure reports are submitted timely. The OSP will work with the Finance Department in review of award expenses to meet compliance requirements. The OSP is responsible for reviewing progress reports prior to submission to the sponsoring agency. The OSP will submit progress reports and financial reports directly to the sponsoring agency by the designated deadline date unless prior authorization has been provided to the PI to do so.